Compliance Analyst

4 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Come Work with Us**

At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

**Job Title**

Compliance Analyst

**What is the opportunity?**

As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.

**What will you do?**
- Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading, outside business activities and private investments and ensure that appropriate records are maintained.
- Serve as main point of contact on Business Unit Coordinator and employee enquiries regarding personal trading.
- Pre-clear employee trades
- Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary.
- Assist with surveillance of personal trading as applicable under Control Room policies and procedure.
- Recommend process and design enhancements within responsibilities, including leveraging new technology whenever possible.
- Providing back up support for other employees within Compliance

**What do you need to succeed?**

**Must-have**
- 2+ years of experience in the financial services industry
- Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable
- Ability to work and flourish in a fast-paced environment.
- University degree or equivalent education
- Ability to work independently, managing various high priorities.

**Nice-to-have**
- Securities industry related courses and qualifications are a key asset.

**What’s in it for you?**

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation.
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact.
- Flexible work/life balance options
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work.

**Job Summary**

**Address**:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO

**City**:
CAN-ON-TORONTO

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
Group Risk Management

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2023-01-30-08:00

**Application Deadline**:
2023-02-13-08:00

**I**nclusion** and Equal Opportunity Employment**

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

**Join our Talent Community**

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